0001437749-18-006313.txt : 20180404 0001437749-18-006313.hdr.sgml : 20180404 20180404135710 ACCESSION NUMBER: 0001437749-18-006313 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180402 FILED AS OF DATE: 20180404 DATE AS OF CHANGE: 20180404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LOPKER KARL F CENTRAL INDEX KEY: 0001080338 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35013 FILM NUMBER: 18736687 MAIL ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: QAD INC CENTRAL INDEX KEY: 0001036188 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770105228 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 BUSINESS PHONE: 8055666000 MAIL ADDRESS: STREET 1: 100 INNOVATION PLACE CITY: SANTA BARBARA STATE: CA ZIP: 93108 4 1 rdgdoc.xml SARS EXERCISE X0306 4 2018-04-02 0001036188 QAD INC QADA, QADB 0001080338 LOPKER KARL F 100 INNOVATION PLACE SANTA BARBARA CA 93108 1 1 1 CEO Class A Common Stock ($0.001 par value) 2018-04-02 4 M 0 120000 8.96 A 223860 D Class A Common Stock ($0.001 par value) 2018-04-02 4 D 0 25816 41.65 D 198044 D Class A Common Stock ($0.001 par value) 2018-04-02 4 F 0 41488 41.65 D 156556 D Class B Common Stock ($0.001 par value) 2018-04-02 4 M 0 30000 8.96 A 60441 D Class B Common Stock ($0.001 par value) 2018-04-02 4 D 0 8669 31.01 D 51772 D Class A Common Stock ($0.001 par value) 5020095 D Class B Common Stock ($0.001 par value) 2357535 D Class A Common Stock ($0.001 par value) 156207 I By spouse Class B Common Stock ($0.001 par value) 51524 I By spouse Stock Appreciation Right (Right to Buy) 8.96 2018-04-02 4 M 0 120000 0 A 2011-06-01 2018-06-01 Class A Common Stock 120000 0 D Stock Appreciation Right (Right to Buy) 8.96 2018-04-02 4 M 0 30000 0 A 2011-06-01 2018-06-01 Class B Common Stock 30000 0 D /s/ Betty Weinert, Attorney in fact for Karl F. Lopker 2018-04-04